managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession

, and fund books with bank employees. In addition, investors are encouraged to verify to ensure that they receive all documents evidencing trading that are issued by banks or asset management companies

to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the clients. In addition, a certain share transfer from a client account was found to be

transactions with such clients without calling the original number or pursuing any other means to verify the transactions. This raised doubt whether such transactions were executed as truly intended by the

client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources

identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s identity using reliable sources of information (client verification

following:- (1) identify the client’s true identity (client identification), including the identity of the ultimate beneficial owner and the controlling person of the transactions; (2) verify the client’s

/223 The money borrowing of the REIT by any means shall not have the following characteristics: (1) having an agreement and conditions in the same manner as the requirements of a perpetual bond; (3

and Analysis EXECUTIVE SUMMARY SIGNIFICANT EVENTS Announcement on Corporate Rating and Progress on Corporate Bond Issuance On April 5, 2018, TRIS Rating assigned the company rating of B. Grimm Power PLC

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